证监会

专业投资者

问1:

就《专业投资者规则》(“该规则”)而言,以持有投资作为唯一业务并由身为专业投资者的法团全资拥有的附属公司,可否亦被视为专业投资者?

答:

证券及期货条例》(“该条例”)及该规则并没有规定须视有关附属公司为专业投资者。然而,该条例第134(1)(xiv)条规定,证监会可应申请,就有关持牌法团或注册机构而对证监会根据该条例订立的规则内的条文规定作出修改或宽免。因此,持牌法团或注册机构可以申请对该规则作出修订,以便将有关附属公司视为专业投资者。

问2:

就《专业投资者规则》(“该规则”)而言,以持有投资作为唯一业务及所有股东都是专业投资者的法团,可否亦被视为专业投资者?

答:

《证券及期货条例》(“该条例”)及该规则并没有规定须视有关法团为专业投资者。然而,该条例第134(1)(xiv)条规定,证监会可应申请,就有关持牌法团或注册机构而对证监会根据该条例订立的规则内的条文规定作出修改或宽免。因此,持牌法团或注册机构可以申请对该规则作出修订,以便将有关法团视为专业投资者。

问3:

就《专业投资者规则》(“该规则”)而言,在厘定个人投资者的投资组合时,由该投资者全资拥有而以持有投资作为唯一业务的法团所持有的投资组合,可否与投资者本身的帐户内的投资组合汇总计算,并视为该投资者的投资组合的一部分?

答:

该规则没有就将投资组合汇总计算作出规定。然而,《证券及期货条例》(“该条例”)第134(1)(xiv)条规定,证监会可应申请,就有关持牌法团或注册机构而对证监会根据该条例订立的规则内的条文规定作出修改或宽免。因此,持牌法团或注册机构可以申请对该规则作出修订,以便可以将有关投资组合汇总计算及将有关个人投资者视为专业投资者。

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